Sec Compliance Manager $70,000 jobs

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Compliance Manager- Registered Investment Adviser
Fort Washington, PA
Lead compliance projects as required. Support management of Independent RIA activity, compliance, and recordkeeping....
Senior SEC Reporting Manager
Fuse Medical, Inc.
Richardson, TX 75080
Our company is rapidly growing and we are looking to hire a Senior SEC Reporting Manager to lead our SEC Compliance activities including all SEC 1934 Act Flings...
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Compliance Surveillance Control Director
Jersey City, NJ
Compliance and Control. Managing a team or multiple teams of Compliance professionals. Managing the identification and assessment of Citi’s key compliance risks...
SOX Compliance & Control Analyst
Charlotte, NC 28277 (Piper Glen Estates area)
Assist in validating compliance with the SOX program. This position will support the Company in activities related to ICFR compliance....

Compliance Manager

World Open Network, Inc.
Menlo Park, CA
Responsive employer
$130,000 - $170,000 a year
Experience in developing, implementing and enforcing a comprehensive compliance program to ensure compliance with SEC,CFTC, MSRB, state laws and regulations....
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Manage the overall SOX compliance program. The Manager, Sarbanes Oxley Compliance collaborates with the Finance / Accounting teams as well as various business...

Compliance Manager

World Open Network
Menlo Park, CA
Experience in developing, implementing and enforcing a comprehensive compliance program to ensure compliance with SEC,CFTC, MSRB, state laws and regulations....

Compliance Manager

Austin, TX
$60,000 - $120,000 a year
Responsible for KYC/AML Compliance. Ability to manage BD compliance programs, policies and procedures and maintain compliance manual/WSP....
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Compliance Manager

Assisting with regulatory examinations of clients’ compliance programs conducted by regulatory authorities, including the SEC, NFA and various state securities...


St. Louis, MO
5+ years compliance experience required. 10+ years' Stifel compliance experience required. The AML Compliance Manager is responsible for managing the daily...

SEC Manager

Radiant Recruiting
Santa Clara, CA
The SEC Manager would be responsible for driving the filing process and ensure compliance with internal controls under SOX 404 guidelines....
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Manager, Deloitte Entity Search & Compliance (DESC)

Independence & Conflicts Network (ICN) – Deloitte Entity Search & Compliance (DESC) Manager. Coordinating the periodic review and update of critical risk and...

Compliance Program Group Manager (F)

Harris Williams & Co.
Richmond, VA 23219 (City Center area)
Senior governance, risk & compliance officer. In-depth knowledge of US broker-deal regulations (FINRA, SEC)....

SOX Compliance and SEC Reporting Manager

Bottomline Technologies Inc
Portsmouth, NH 03801
SOX Compliance and SEC Reporting Manager:. We are seeking a SOX Compliance and SEC Reporting Manager to manage Bottomline’s Sarbanes Oxley (SOX) 404 internal...
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Quality Assurance Manager- Food Manufacturing
Fresno, CA 93702 (Roosevelt area)
Health, Dental Insurance, Life Insurance, Long Term Disability, Sec. Supervise all PQG Technicians to ensure that batches are tested as described in the...
SEC Reporting Manager
San Francisco, CA
Ensure all of those filings are in compliance with SEC and U.S. Experience with Workiva SEC filing software an advantage....
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